rdc
Organization: Southern Financial LLC
DB12000P - Deutsche Bank Private Bank
Batch Date: 05/29/2013 Alert Date:
Alert
05/29/2013
Address: Counhy United States
Tracking ID: 6229369 Reporting ID: 6229369
Alert*: 6 Alert ID:
Entity Information
Entity ID:
Entity Name: Southern Financial Group, Inc.
Address: South Carolina. UNITED STATES
Event: • SEC - SEC Violations (Insider Trading, Securities Fraud)
ACT - Disciplinary, Regulatory Action
06117/2002, Securities and Exchange Commission v. Southern Financial Group, Inc., Richard M. Wooten,
Charles Dennis McKittrick and Gerald F. Hunter, Jr., Defendants, and Springdale Investments, Inc., Relief
Defendant, United States District Court for the District of South Carolina, Charleston Division, Civil Action
File No. 2:02-1806-18
• SEC - SEC Violations (Insider Trading, Securities Fraud)
ACT - Disciplinary, Regulatory Action
06/19/2002, Securities and Exchange Commission v. Southern Financial Group. Inc., Richard M. Wooten,
Charles Dennis McKittrick and Gerald F. Hunter, Jr., Defendants, and Springdale Investments, Inc., Relief
Defendant, United States District Court for the District of South Carolina, Charleston Division, Civil Action
File No. 2:02-1806-18
• SEC - SEC Violations (Insider Trading, Securities Fraud)
ACT - Disciplinary. Regulatory Action
05/28/2002, SECURITIES AND EXCHANGE COMMISSION V. SOUTHERN FINANCIAL GROUP. INC.,
RICHARD M. WOOTEN. CHARLES DENNIS MCKITTRICK AND GERALD F. HUNTER. JR., United States
District Court for the District of South Carolina, Charleston Division, Civil Action File No. 2:02-1806-18
(Filed May 24, 2002)
Source Information
RDC URL: https://orid.rdc.comrviss/entity.henl?entityld=a7a395d6a12368e75d3f3d53eb346cc4
Source Name: SEC Litigation Releases - 2002. 05/12/2012
Source URL: http://www.sec.govilitigationAitreleases/litrelarchive/litarchive2002.shtml
Entity URL: • htuhi
p: /Avv/w..secici
govi/il t:gat ion/IIbitreler sesAr i 756794. htm
• lAtp://www sec govnitigation/litreleasesArl 7535 htm
Consistent %Oh the terms and cznations of your RDC Subscriber Agreement the elormatnn contarned n ths document is for alert purposes only and is nab be use., la purposes ol determining an
video:Wats ellablity to any aedt or any other FCRA permeable purposes Use, bother erg ees to It'd such nuttiest and efermsbon n lacteal confdence not to make use thereof COW than lot authoraed
purposes to relate t only to employees reaming such trdermatom and not to release or <led:sotto any other party The Alert Sonnet= oantered on the document rray or may not pertain bee ndmdual
or entity referenced in you, 'Nutty. Page a of 10
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0045564
CONFIDENTIAL SDNY GM_00191748
EFTA01358158